Compliance Associate

Overview We are seeking a motivated Compliance Associate to support our client's Compliance, Forensics, Audit, and Risk Analytics functions in a fast-paced financial services environment. The ideal candidate will assist with testing, monitoring, data analysis, and documentation activities to ensure adherence to regulatory requirements and internal policies. This is a hands-on role focused on execution, data handling, and clear reporting.

Key Responsibilities

• Perform compliance testing, forensics reviews, and audit procedures across various business processes and controls.
• Analyze large datasets using advanced Excel (pivot tables, VLOOKUP, formulas, dashboards, data validation, etc.) to identify anomalies, trends, or potential compliance issues.
• Support risk assessments, monitoring activities, and internal audits in areas such as financial crimes, regulatory compliance, and operational controls.
• Review and analyze documents, transactions, and records for adherence to policies, procedures, and applicable regulations.
• Prepare clear, well-written reports, summaries, and documentation of findings, including recommendations for remediation.
• Assist in regulatory examination preparation, data requests, and follow-up on audit or testing issues.
• Collaborate with cross-functional teams (Compliance, Audit, Risk, Business Units) to gather information and resolve compliance matters.
• Track and monitor open issues, exceptions, and remediation actions to ensure timely closure.
• Stay current with relevant regulatory developments and apply them to day-to-day testing and review work.

Required Qualifications & Skills

• Experience: 3–5 years in compliance, audit, forensics, risk analytics, or related fields within financial services or banking.
• Technical Skills:
• Strong proficiency in Excel (advanced functions, large dataset handling, reporting).
• Solid experience working with large datasets and data analysis tools.
• Soft Skills:
• Excellent reading comprehension and strong written and verbal communication skills.
• High attention to detail with the ability to produce accurate, professional documentation.
• Good analytical and problem-solving abilities.
• Other:
• Bachelor’s degree (or equivalent experience) in Business, Finance, Accounting, or related field preferred.
• Ability to work independently while collaborating effectively in a team environment.
• Fully comfortable with 5 days/week onsite in NYC (200 West area).

Preferred (Nice-to-Have)

• Background in financial crimes compliance, AML, forensics auditing, or regulatory testing.
• Familiarity with audit methodologies or compliance monitoring frameworks.
• Any relevant certifications (e.g., CAMS, CIA) or regulatory knowledge (FINRA, SEC, etc.).

Pay: $60,000.00 - $75,000.00 per year

Education:

• Bachelor's (Preferred)

Experience:

• Risk Analytics: 4 years (Required)
• Compliance AML : 3 years (Required)
• Compliance testing : 4 years (Required)
• Excel : 4 years (Required)

Ability to Commute:

• Battery Park City, NY (Required)

Work Location: In person